June 28, 2023: Policing the Securities and Digital Asset Markets: Current Enforcement Priorities
CLE Readings
- DOJ’s Justice Manual, Section 9-28.300, Factors to Be Considered in the Prosecution of Business Organizations (the so-called “Filip Factors”)
- Daniel C. Richman, Corporate Headhunting, 8 Harv. L. & Pol’y Rev. 265 (2014)
- Memorandum from Deputy Attorney General Sally Quillian Yates titled “Individual Accountability for Corporate Wrongdoing,” Sept. 9, 2015
- Memorandum from Deputy Attorney General Lisa Monaco titled “Further Revisions to Corporate Criminal Enforcement Policies Following Discussions with Corporate Crime Advisory Group,” Sept. 15, 2022
- Press Release, “Damian Williams and Breon Peace Announce New Voluntary Self-Disclosure Policy for United States Attorney’s Offices,” Feb. 22, 2023
- Speech by Assistant Attorney General Kenneth A. Polite, Jr. at the ABA’s 38th Annual National Institute on White Collar Crime, March 3, 2023
- Gary Gensler, “Testimony of Chair Gary Gensler before the United States House of Representatives Committee on Financial Services” (April 18, 2023),
- Press Release, “SEC Issues Largest-Ever Whistleblower Award,” May 5, 2023
Suggested Additional Reading